| 17-01064 | 01/09/2019 | Claimant(s): Albert Kaufman
Claimant Lawyers(s): Albert Duncan Kaufman
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Thomas J. Ray, Albert J. Haller, Robert Joseph Osdieck
Hearing Site: St. Louis, MO
| | |
| 18-02212 | 08/10/2018 | Claimant(s): Eliot Simon
Claimant Lawyers(s): David I. Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Craig Vollono
Arbitrator(s): Thomas J. Ray
Hearing Site: St. Louis, MO
| | |
| 16-00025 | 05/03/2017 | Claimant(s): The Dennis Keyser Revocable Trust
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): H. Beck.
Respondent Lawyers(s): Scott N. Sherman
Arbitrator(s): Thomas J. Ray, Kim L. Kirn, Marjorie Lynn Gold
Hearing Site: St. Louis, MO
|  | Expungement |
| 15-03390 | 09/30/2016 | Claimant(s): Hugh Murray
Claimant Lawyers(s): Hugh Vincent Murray
Respondent(s): Michael Standley, Steven Larson
Respondent Lawyers(s): Michael Thomas Standley, Steven Ellsworth Larson
Arbitrator(s): Thomas J. Ray
Hearing Site: St. Louis, MO
| | |
| 15-00888 | 07/19/2016 | Claimant(s): Ranjit Singh, Kingsboro
Claimant Lawyers(s): Kevin Galbraith
Respondent(s): Berthel, Fisher & Company Financial Serv
Respondent Lawyers(s): Vincent Louwagie
Arbitrator(s): Reggie C. Giffin, Thomas J. Ray, John R. Loss
Hearing Site: Kansas City, MO
| | $0 |
| 15-00935 | 01/08/2016 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Scott T. Earl
Respondent(s): James Rotter
Respondent Lawyers(s): James Thomas Rotter
Arbitrator(s): Thomas J. Ray
Hearing Site: St. Louis, MO
| | |
| 14-03456 | 09/04/2015 | Claimant(s): Margaret Shaft, Mark Shaft
Claimant Lawyers(s): John J. Miller
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Thomas J. Ray
Hearing Site: Kansas City, MO
| | $0 |
| 14-02840 | 05/22/2015 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Shira Forman
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Thomas J. Ray
Hearing Site: St. Louis, MO
| | |
| 13-02673 | 12/10/2014 | Claimant(s): Stephen Heil
Claimant Lawyers(s): Joseph B. Alonso
Respondent(s): LPL Financial LLC, Dennis Ulrich, Jeffrey Westerhold, Kimberly Loy, Steven Langendorf
Respondent Lawyers(s): Rachel E. Stephens, Thomas E. Berry
Arbitrator(s): Thomas J. Ray, Joseph V. Simeri, David J. Bokal
Hearing Site: St. Louis, MO
| | |
| 13-00481 | 09/29/2014 | Claimant(s): Jeffrey Bross
Claimant Lawyers(s): James S. McCarthy
Respondent(s): Anastasios Belesis, John Thomas Financial
Respondent Lawyers(s): Anastasios Belesis, Joseph Castellano
Arbitrator(s): Robert G. Haddenhorst, Thomas J. Ray, David J. Bokal
Hearing Site: St. Louis, MO
| | Stipulated Award |
